Sandra L. Rice
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sandra Lee Rice, who also goes by Sandra Lee Mcbride, Sandra Lee Strong, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 2002. Sandra had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2015 - December 23, 2019
AVANTAX ADVISORY SERVICES
March 23, 2015 - December 23, 2019
AVANTAX INVESTMENT SERVICES, INC.
September 4, 2009 - March 20, 2015
CETERA ADVISORS LLC
September 4, 2009 - March 20, 2015
CETERA ADVISORS LLC
November 17, 2006 - September 18, 2009
NEW ENGLAND SECURITIES
October 9, 2006 - September 18, 2009
NEW ENGLAND SECURITIES
October 30, 2004 - September 15, 2006
WADDELL & REED
October 29, 2004 - September 15, 2006
WADDELL & REED
March 3, 2003 - October 14, 2004
NEW ENGLAND SECURITIES
November 15, 2002 - October 14, 2004
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
